Roady Samantha 4
4 · GAIN Capital Holdings, Inc. · Filed Jun 19, 2018
Insider Transaction Report
Form 4
Roady Samantha
Chief Marketing Officer
Transactions
- Sale
Common Stock
2018-06-18$8.25/sh−2,626$21,665→ 230,508 total - Sale
Common Stock
2018-06-15$8.24/sh−5,000$41,194→ 230,508 total - Exercise/Conversion
Common Stock
2018-06-18$5.30/sh+2,626$13,918→ 233,134 total - Exercise/Conversion
Stock Option
2018-06-18$5.30/sh−2,626$13,918→ 22,874 totalExercise: $5.30Exp: 2019-03-01→ Common Stock (2,626 underlying)
Footnotes (4)
- [F1]The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- [F2]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.17 to $8.31, inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F3]Reflects shares acquired upon exercise of stock options listed in Table II below.
- [F4]Such stock options vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.